Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) SEC Rule Proposal: Regulating “Pay to Play” Practices September 1, 2009 by Michelle Jacko Sept. 2009
Risk Management Updates (RMU) Red Flag Rule Postponed (Again) July 1, 2009 by Core Compliance July 2009
Investment Adviser | Publications NSCP Currents – The Private Fund Investment Advisers Registration Act of 2009 July 1, 2009 by Core Compliance Jul/Aug. 2009
Disclosures | Risk Management Updates (RMU) Hedge Fund Compliance & the Aftermath of Goldstein July 1, 2009 by Michelle Jacko July 2007
Investment Adviser | Risk Management Updates (RMU) Alternative Adviser Registration Options June 1, 2009 by Michelle Jacko June 2009
Investment Adviser | Risk Management Updates (RMU) Investment Adviser State Registration and De Minimus Exemption April 1, 2009 by Michelle Jacko April 2009
Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) There’s Something about Mary: An Introduction to SEC Chairman Mary Shapiro and What to Expect During Her Term March 1, 2009 by Michelle Jacko March 2009
Regulatory Examinations | Risk Management Updates (RMU) They’re Coming – Preparing for Your Next Regulatory Examination January 1, 2009 by Michelle Jacko Jan. 2009
Publications Bank Advisor Magazine – Who’s Risking Your Business? (Part III) January 1, 2009 by Core Compliance
